Nicole Stoufflet has been Wealth Manager / CCO of Rothwell Investment Advisors since March 2026, is a control person of the firm and directly owns under 5% of it.
Rothwell Investment Advisors LLC is a Salem, MA firm with $188M under management, 709 clients and 3 advisers in one office, as of its March 2026 filing.
Nicole Stoufflet’s longest registration is the current one, under a year at Rothwell Investment Advisors since 2026. Before joining Rothwell Investment Advisors in 2026, Nicole Stoufflet was registered through Martin & Associates Investment Advisory Services LLC.
- Rothwell Investment AdvisorsCurrent– present · under a yearNew Orleans, LA · Adviser representative · Firm CRD 337504
- Martin & Associates Investment Advisory Services LLC– · under a yearMandeville, LA · Adviser representative · Firm CRD 110644
Investment adviser representative registrations
Nicole Stoufflet is registered as an investment adviser representative in Louisiana, since February 2026.
- LouisianaSince 26 February 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 1 November 2007 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 22 August 2007 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 16 July 2007 |
| Series 7 | General Securities Representative Examination | 9 February 2004 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Representative Examination
- Full name
- Nicole Marie Stoufflet
- CRD
- 4290006
- Firm
- Rothwell Investment Advisors · CRD 337504
- Role
- Wealth Manager / CCO
- Office
- New Orleans, LA
- Registration
- Investment adviser and broker registrations
- In the industry since
- June 2006
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Nicole Stoufflet work?
Nicole Stoufflet has been Wealth Manager / CCO of Rothwell Investment Advisors LLC since March 2026, and is a control person of the firm.
Is Nicole Stoufflet a financial advisor?
Yes. Nicole Stoufflet has a current investment-adviser registration in Louisiana, through Rothwell Investment Advisors since February 2026.
How many years of experience does Nicole Stoufflet have?
Nicole Stoufflet has 20 years in the financial industry, since June 2006, across 2 adviser firms.
What exams has Nicole Stoufflet passed?
Nicole Stoufflet has passed 4 licensing exams: the Series 7, Series 10, Series 9 and Series 66. The earliest, the Series 7, was passed in February 2004. FINRA credited Nicole Stoufflet with the SIE, which began in October 2018.
Where did Nicole Stoufflet work before Rothwell Investment Advisors?
Before Rothwell Investment Advisors, Nicole Stoufflet was registered through Martin & Associates Investment Advisory Services LLC, September 2006 to February 2007.
Where is Nicole Stoufflet based?
Nicole Stoufflet’s registered office is in New Orleans, LA.
Is Nicole Stoufflet registered with FINRA?
Yes. Nicole Stoufflet has a current broker registration, under CRD 4290006.
Source: FINRA BrokerCheck
How can I verify Nicole Stoufflet’s record?
Search CRD 4290006 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Nicole Stoufflet’s full registration record.
